Art. 29 FinSA from 2024
Art. 29 Registration conditions
1 Client advisers are entered in the register of advisers if they prove that they:a. satisfy the requirements set out in Article 6;b. have taken out professional indemnity insurance or that equivalent collateral exists; and c. (1) are themselves affiliated to an ombudsman (Art. 74) in their capacity as a financial service provider, or that the financial service provider for which they work is affiliated to an ombudsman, where a duty to affiliate exists (Art. 77).
2 Client advisers shall not be entered in the register of advisers if they: a.have been convicted of criminal offences in accordance with Articles 89 to 92 of this Act or Article 86 ISA (2) or of property offences under Articles 137 to 172ter of the Swiss Criminal Code (3) ; orb. have been prohibited from performing the registrable activity in accordance with Article 33a FINMASA (4) or from practising a profession in accordance with Article 33 FINMASA.
3 If client advisers are employed as staff by a financial service provider, the condition set out in paragraph 1 letter b may be fulfilled by the latter.
(1) Amended by No I 4 of the FA of 25 Sept. 2020 on the Adaptation of Federal Law to Developments in Distributed Ledger Technology, in force since 1 Feb. 2021 ([AS 2021 33]; [BBl 2020 233]).
(2) [SR 961.01]
(3) [SR 311.0]
(4) [SR 956.1]
Es besteht kein Anspruch auf Aktualität und Vollständigkeit/Richtigkeit.
